JR
James B. Regan
BROOKSTONE WEALTH ADVISORS
Scottsdale, AZ 85255
Some features on this profile are disabled
CRD#: 5990957
JR
Professional summary
James B Regan, AIF®, who also goes by Jim Regan, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Scottsdale, Arizona.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Regan
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) 10/11/2012: REGAN & ASSOCIATES, LLC - Not Investment Related - At Reported Business Location(s) - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - 5% OF TIME SPENT - TAX CONDUIT.
(2) 7/7/2014: PACIFIC LIFE - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 06/16/14 - 2 Hours Per Month During Securities Trading - Insurance Agent - INS TYPE: LIFE.
(3) 10/9/2014: CAPITAL WEALTH INVESTMENTS - Investment Related - Home Based - Real Estate Rental - Started 09/01/2014 - 5 Hours Per Month/0 Hours During Securities Trading - OWNER.
(4) 6/29/2015: SHARPEPOINT PRIVATE CLIENT GROUP - Investment Related - At Reported Business Location(s) - DBA FOR SHARPEPIONT, LLC; START 07/01/2015 - 160 Hours Per Month.
(5) 11/30/2015 - SHARPEPOINT INSURANCE GROUP - Investment Related - Owner - At Reported Business Location(s) - NON-VARIABLE INSURANCE - START 07/01/2015 - 4 Hours Per Month/1 Hour During Securities Trading - Insurance Agent with SharpePoint Insurance Group.
(6) 11/15/2019 - LONGTERM CARE 4 VETERANS - ADVISOR- INVESTMENT RELATED - EDUCATE THE VETERAN AND ASSIST THEM WITH THE APPLICATION FOR THE VA AND APPROPRIATE ESTATE PLANNING TO MEET THE CREDENTIALS FOR APPLICATION AND APPROVAL OF THE VA BENEFIT - 85018 - 2019-11-01 - HOURS DEVOTED TO BUSINESS DURING TRADING HOURS: 5 - HOURS DEVOTED TO BUSINESS OUTSIDE TRADING HOURS: 10 - PERCENTAGE OF TOTAL YEARLY COMPENSATION EXPECTED TO BE DERIVED FROM THE BUSINESS: 10
CRS (Client Relationship Summary) - RIA
Click below to view James B Regan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
February 12, 2024 - Present
BROOKSTONE WEALTH ADVISORS, LLC
Office #1: 8700 E Vista Bonita Drive Suite 240, Scottsdale, AZ 85255RIA
CRD#: 137658
Scottsdale, AZ
Past
January 12, 2018 - April 23, 2024
SHARPEPOINT, LLC
RIA
CRD#: 290719
PHOENIX, AZ
Past
July 26, 2013 - January 10, 2018
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
PHOENIX, AZ
Past
October 11, 2012 - January 17, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
PHOENIX, AZ
Past
February 10, 2012 - September 6, 2012
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
SCOTTSDALE, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
Registered Investment Advisory firm - (3/16/2007 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(3/1/2024)
IAR
Colorado(3/5/2024)
IAR
Florida(2/27/2024)
IAR
Idaho(2/12/2024)
IAR
Michigan(3/4/2024)
IAR
Pennsylvania(2/12/2024)
IAR
Virginia(3/6/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BW
BROOKSTONE WEALTH ADVISORS, LLC
BROOKSTONE WEALTH ADVISORS, LLC | RWA, INC | RETIREMENT WEALTH ADVISORS, LLC | RETIREMENT WEALTH ADVISORS, INC. | RETIREMENT RESOURCES | FORMULAFOLIO INVESTMENT STRATEGIES
CRD#: 137658 / SEC#: 801-67628
RIA
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Contact information
Main Address
1745 S Naperville Rd Suite 200, Wheaton, IL 60189
Mailing Address
Phone number
(630) 653-1400
Established
Firm type
Fiscal year end
# of Employees
244
SEC notice filing (52 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
